F
Water Resources Research
National Competitive Grants Program
Fiscal Year 2015 Announcement
Announcement No. G15AS00019
under Section 104(g) of the
Water Resources Research Act of 1984, as Amended
November 24, 2014
Closing Dates
5:00 PM, Eastern Time, February 19, 2015 (Investigators)
5:00 PM, Eastern Time, March 12, 2015 (Approved by Institutes)
Department of the Interior
U. S. Geological Survey
National Institutes for
Water Resources
OMB Number 1028-0097
Expiration Date 10/31/2016
PAPERWORK REDUCTION ACT STATEMENT: A Federal agency may not conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a currently valid OMB control number. OMB has reviewed and approved this information collection
and assigned OMB Control Number 1028-0097. Your response is required to obtain or retain a benefit in the form of a grant. Public burden for
the collection of this information is estimated to average 60 hours per application and 12 hours for grantees to complete the reporting
requirement. Comments regarding this collection of information should be directed to the Bureau Clearance Officer, U.S. Geological Survey,
12201 Sunrise Valley Drive, MS 807, Reston, VA 20192, or call 703-648-7174.
NATIONAL INSTITUTES FOR WATER RESOURCES
U.S. GEOLOGICAL SURVEY
WATER RESOURCES RESEARCH NATIONAL COMPETITIVE GRANTS PROGRAM
ANNOUNCMENT
TABLE OF CONTENTS
ABSTRACT
1
ELECTRONIC FILING OF PROPOSALS
1
I. INTRODUCTION
2
II. PROGRAM OBJECTIVES
3
III. RESEARCH PRIORITIES
3
IV. PROPOSALS NOT ELIGIBLE FOR FUNDING
4
V. APPLICANT ELIGIBILITY AND PROPOSAL APPROVAL
4
VI. COLLABORATION BY FEDERAL EMPLOYEES
5
VII. FEDERAL FUNDS
5
VIII. MATCHING FUNDS
5
IX. MAXIMUM SIZE AND DURATION OF PROJECT
6
X. PROPOSAL DUE DATE
6
XI. PROPOSAL REVIEW, SELECTION, AND AWARD PROCESS
7
XII. PROPOSAL CONTENTS
8
XIII. PROPOSAL INSTRUCTIONS
8
XIV. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS
12
XV. REPORTING REQUIREMENTS
13
ATTACHMENTS
A: APPLICATION FOR FEDERAL ASSISTANCE (SF-424) and ASSURANCES (SF-424B)
B: BUDGET BREAKDOWN
C: BUDGET JUSTIFICATION
D: BUDGET SUMMARY
E: FOCUS CATEGORIES
F: APPLICATION CHECKLIST
i
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24
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U.S. GEOLOGICAL SURVEY
NATIONAL INSTITUTES FOR WATER RESOURCES
WATER RESOURCES RESEARCH
NATIONAL COMPETITIVE GRANTS PROGRAM
ANNOUNCEMENT
FY 2015
ABSTRACT
The U.S. Geological Survey in cooperation with the National Institutes for Water Resources
requests proposals for matching grants to support research on the topic of improving and
enhancing the nation’s water supply, including evaluation of innovative approaches to water
treatment, infrastructure design, retrofitting, maintenance, management, and replacement;
exploration and advancement of our understanding of changes in the quantity and quality of
water resources in response to a changing climate, population shifts, and land use changes;
development of methods for better estimation of water supply, both surface and groundwater,
including estimation of the physical supply and of the economic supply of water; development
and evaluation of processes and governance mechanisms for integrated surface/ground water
management; and the evaluation and assessment of conservation practices. Any investigator at
an accredited institution of higher learning in the United States is eligible to apply for a grant
through a Water Research Institute or Center established under the provisions of the Water
Resources Research Act of 1984, as amended (http://water.usgs.gov/wrri/institutes.html).
Proposals involving substantial collaboration between the USGS and university scientists are
encouraged. Proposals may be for projects of 1 to 3 years in duration and may request up to
$250,000 in federal funds. Successful applicants must match each dollar of the federal grant
with one dollar from non-federal sources. Proposals must be filed on the Internet at
https://niwr.net/ by 5:00 PM, Eastern Time, Thursday, February 19, 2015 and must be approved
for submission to the National Competitive Grants Program not later than 5:00 PM, Eastern
Time, Thursday, March 12, 2015 by the Institute or Center through which they were submitted.
The SF-424 (Application for Federal Assistance) and SF-424B (Assurances) portion of the
application package must be submitted through the Internet site at http://www.grants.gov not
later than 5:00 PM Eastern Time, Thursday, March 12, 2015 by the university at which the
Institute or Center is located. Funds have not yet been appropriated for this program for FY
2015. The Government's obligation under this program is contingent upon the availability of
funds.
ELECTRONIC FILING OF PROPOSALS
Proposals under this Announcement must be submitted using the following process:
1. All portions of the proposal, except the SF-424 (Application for Federal Assistance)
and SF-424B (Assurances) must be submitted through the Internet site at
https://niwr.net/. Prospective applicants (Principal Investigators) must be registered at the
1
niwr.net site prior to submitting a proposal. Registration does not obligate the registrant
to submit a proposal.
2. A separate SF-424 (Application for Federal Assistance) and SF-424B (Assurances)
must be submitted for each proposal through the Internet site at http://www.grants.gov/
by the university at which the Water Resources Research Institute or Center approving
the proposal is located.
I.
INTRODUCTION
This Program Announcement is issued under the provisions of section 104 of the Water
Resources Research Act of 1984 (Public Law 98-242), as amended by Public Laws 101-397,
104-147, 106-374, and 109-471. Section 104 of the Water Resources Research Act directs the
Secretary of the Interior to administer program grants to Institutes and Centers established under
the provisions of section 104(a) of the Act. Water Resources Institutes or Centers have been
established in each of the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin
Islands, and Guam. The Institute in Guam also serves the Federated States of Micronesia and the
Commonwealth of the Northern Mariana Islands. The Institute in Hawaii also serves American
Samoa. The addresses of the 54 Institutes are available on the Internet at
http://water.usgs.gov/wrri/institutes.html. Responsibility for administration of the State Water
Resources Research Institute program has been delegated to the U.S. Geological Survey (USGS).
The 54 Institutes are organized as the National Institutes for Water Resources (NIWR). NIWR
cooperates with the USGS in the administration of the State Water Resources Research Institute
Program. Questions or comments concerning the review process may be addressed to either Earl
Greene at the address below or to:
Dr. James P. Hurley, Director
Water Resources Institute
1975 Willow Drive - 2nd Floor
The University of Wisconsin-Madison
Madison, Wisconsin 53706-1177
(608) 262-0905
hurley@aqua.wisc.edu
Questions or comments concerning this Program Announcement should be directed to:
Program Office
Grants Office
Earl Greene
Kimberly L. Dove
Chief, Office of External Research
Office of Acquisition and Grants
5522 Research Park Drive
MS 211, U.S. Geological Survey
Baltimore, Maryland 21228
12201 Sunrise Valley Drive
Phone: 443-498-5505
Reston, Virginia, 20192
eagreene@usgs.gov
Phone: 703-648-7487
kdove@usgs.gov
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II.
PROGRAM OBJECTIVES
Section 104(g) of the Water Resources Research Act of 1984 requires that this competitive grant
program focus on: “water problems and issues of a regional or interstate nature beyond
those of concern only to a single State and which relate to specific program priorities identified
jointly by the Secretary (of the Interior) and the (water resources research) institutes.”
Objectives of this program also include the following:
A. Promote collaboration between the USGS and university scientists in research on
significant national and regional water resources issues.
Proposals exhibiting substantial collaboration between the USGS and the applicant are
encouraged and will receive extra weight in the evaluation and selection process.
Collaborative proposals should describe in detail the respective roles of the USGS and
the applicant in the proposed work. It is anticipated in FY2015 the USGS will have
internal funds available for modest support of USGS scientists on selected proposals.
Potential applicants seeking collaborative opportunities are encouraged to contact USGS
scientists directly (http://water.usgs.gov/nrp/science.php) or Water Science Center
Directors (http://water.usgs.gov/district_chief.html).
B. Promote the dissemination and application of the results of the research funded under this
program.
C. Assist in the training of scientists in relevant water resource fields. Proposals that include
a strong educational component (student support) are encouraged, as are proposals from
faculty beginning their careers.
III.
RESEARCH PRIORITIES
Proposals are sought on the topic of improving and enhancing the nation’s water supply and
availability, and promoting the exploration of new ideas that address or expand our
understanding of water problems, including the following specific areas of inquiry (levels of
priority are not assigned, and the order of listing does not indicate the level of priority):
•
Evaluation of innovative approaches to water treatment, infrastructure design, retrofitting,
maintenance, management and replacement.
•
Exploration and advancement of our understanding of changes in the quantity and quality
of water resources in response to a changing climate, population shifts, and land use
changes; including associated economic, environmental, social, and/or infrastructure
costs.
3
IV.
•
Development of methods for better estimation of water supply, both surface and
groundwater, including estimation of the physical supply and of the economic supply of
water.
•
Development and evaluation of processes and governance mechanisms for integrated
surface/ground water management.
•
Evaluation and assessment of the effects of water conservation practices, as well as
adoption, penetration and permanence.
PROPOSALS NOT ELIGIBLE FOR FUNDING
A. Proposals for research on health effects involving human subjects.
B. Proposals for research involving oceanography (estuarine research proposals are
acceptable).
C. Proposals submitted by an Institute or Center that has not met reporting requirements on a
previous award by the USGS.
D. Proposals that do not comply with the terms of this Announcement.
V.
APPLICANT ELIGIBILITY AND PROPOSAL APPROVAL
Awards are available only to Water Research Institutes or Centers established pursuant to the
provisions of section 104 of the Water Resources Research Act and listed at
(http://water.usgs.gov/wrri/index.php). However, any investigator at an institution of higher
learning in the United States is eligible to apply for an award through a Water Research Institute
or Center. All portions of the proposals, with the exception of the SF-424 (Application for
Federal Assistance) and SF-424B (Assurances), must be submitted through the website at
https://niwr.net/. The SF-424 and SF-424B must be submitted through the website at
http://www.grants.gov by the university at which the Institute or Center is located. Each
proposal will then be authorized for inclusion in the national competition by the Director of the
Institute or Center in the state in which the university of the principal investigator is located.
Proposals requesting matching funds from an Institute or Center are authorized at the discretion
of the Institute or Center Director.
When a proposal is filed on the niwr.net site, the Institute or Center in the State in which the
university of the principal investigator is located will be notified electronically that a proposal
has been filed. The Director of that Institute or Center will subsequently review the proposal for
adherence to the terms of this Announcement, and then, following the instructions provided at
the website, may approve it for further consideration and technical review. The Director may,
during this process, contact the principal investigator to discuss possible clarification or changes
in the proposal.
VI.
COLLABORATION BY FEDERAL EMPLOYEES
4
A. Federal employees may, and are encouraged to, collaborate with college or university
investigators in this program.
B. Federal employees may not serve as a principal investigator, but may serve as a coprincipal investigator.
C. Federal employees and agencies may not receive federal funds for any purpose under
these awards.
D. Federal employees and agencies may not serve as a source of matching funds under these
awards.
E. Federal employees must prepare a Statement of Government Involvement, which is to be
included with collaborative proposals (See Section XIII.D.21.) USGS employees are
encouraged to include a budget with the Statement of Government Involvement.
VII.
FEDERAL FUNDS
A. Funds have not yet been appropriated for this program for FY 2015. The Government's
obligation under this program is contingent upon the availability of funds.
B. All successful proposals will be fully funded for the entire duration of the project with
FY 2015 funds, if available.
VIII. MATCHING FUNDS
A. Each applicant must match each Federal dollar provided to support each proposed project
with not less than one dollar from non-federal sources. States may have different
guidelines as to the sources of matching funds - please check with your Institute or
Center Director for details.
Note: Guam, the Federated States of Micronesia, the Commonwealth of the Northern
Mariana Islands, American Samoa, and the U.S. Virgin Islands are exempt from the
matching requirement.
B. Matching funds shall be obligated during the period of performance.
C. The matching requirement should be met during each 12-month budget period.
D. Matching funds obligated shall be reflected on line 10.i of each Financial Status Report,
Standard Form 425.
E. Matching funds may contain indirect costs and non-federal salaries and benefits. The
applicant’s negotiated indirect cost rate (NICR) may be applied to both qualifying federal
and non-federal direct costs, and the result used to satisfy part of the matching
requirement under the non-federal share. The NICR shall not be applied to tuition and
equipment costs. Federal funds shall not be used to pay indirect costs.
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IX.
MAXIMUM SIZE AND DURATION OF PROJECT
A. Applicants shall not request total federal funds exceeding $250,000 per project.
B. Proposed projects may be of 1 to 3 years in duration, with discrete 12-month budget
periods.
X.
PROPOSAL DUE DATE
Investigators must file their proposals on the Internet at https://niwr.net/ prior to 5:00 PM Eastern
Time, Thursday, February 19, 2015. Only proposals filed by that time will be transmitted to the
National Grants Competition.
Institutes or Centers must approve the proposals filed by investigators in their State prior to 5:00
PM Eastern Time, Thursday, March 12, 2015. Only proposals approved by that time will be
transmitted to the National Grants Competition.
The SF-424 and SF-424B portions of the application package must be filed electronically at
http://www.grants.gov prior to 5:00 PM Eastern Time, Thursday, March 12, 2015. Only
applications submitted by that time will be considered.
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XI.
PROPOSAL REVIEW, SELECTION, AND AWARD PROCESS
Each proposal which meets the requirements of this Announcement will be evaluated by: 1)
written peer reviews from qualified scientists or managers in the area of the proposed research,
and 2) a selection panel consisting of Institute directors, university scientists, and USGS
employees experienced in water resources research. Proposals will be reviewed according to the
following criteria:
25 Points: Relevance and Importance. - The extent to which: (1) the proposal focuses on a water
problem or issue of a regional or interstate nature of concern to more than one State and directly
addresses a research priority described in Section III; (2) the subject is of particularly high
importance to present and future water resources management programs; and (3) the proposal
includes collaboration with the USGS if appropriate.
25 Points: Scientific Merit. – The extent to which the proposal (1) has potential to expand
fundamental knowledge in its specific area(s); (2) is scientifically sound; and (3) demonstrates
cognizance of past work.
10 Points: Feasibility. (1) The extent to which the objectives, methodologies, designs, and
techniques are adequate and completely described; and (2) the likelihood of success given the
methods and time frame proposed.
10 Points: Information Transfer. How well the proposal actively addresses the eventual transfer
of results to user groups and whether it actively addresses the impact that the results could have?
10 Points: Training. The extent to which the proposal has a strong educational component,
provides for student support, and engages a principal investigator near the beginning of his or her
career?
10 Points: Qualifications of the Investigators. The extent to which the qualifications of the
investigators are commensurate with the proposed research, and the adequacy of the facilities
and equipment.
10 Points: Budget. The extent to which the budget is reasonable and adequate for the work
proposed. Note: the principal investigator’s salary is an acceptable budget item, but the federal
share of the salary should not exceed one or two months per year.
Proposals recommended for funding will be forwarded to the USGS for review and approval.
Awards will be made directly to the Water Resources Research Institute or Center through
which the proposal was submitted. The target award date is August through September with a
USGS-preferred project start date of September 1, 2015. The project start date must be no later
than September 30, 2015.
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XII.
PROPOSAL CONTENTS
Each proposal shall consist of the following items:
A.
B.
C.
D.
SF-424, Application for Federal Assistance, and SF-424B, Assurances [Attachment A]
Signed Matching Funds Commitment Letter
Suggested Reviewers
Research Proposal, including a Budget Breakdown (Attachment B), Budget Justification
(Attachment C) and Budget Summary (Attachment D)
Attachment B (Budget Breakdown), Attachment C (Budget Justification) and Attachment
G (Budget Summary) should be considered worksheets; during the proposal submission
process, these data will be entered into forms on the website. Upon completion of the
submission process, the actual Attachments will be generated from these form entries and
bundled with your application package.
XIII. PROPOSAL INSTRUCTIONS
Prior to submission of a proposal, all principal investigators must be registered at
https://niwr.net/. Registration involves providing basic contact information (name, address,
phone, e-mail address, etc.) to a Web form, and subsequently being provided with a user ID and
password. This ID and password may be used to update one’s contact information, to submit
proposals, and to be kept informed of the proposal review process, including final notification of
awards. Individuals already registered should not register again.
Each proposal must be submitted through the website at https://niwr.net/ and shall be prepared
and submitted in accordance with the specific instructions provided at that site. Submission will
require two distinctly different actions: (1) submission of specified information as text directly
into a Web form and (2) "depositing" at the website a document file containing a detailed
description of the work being proposed. This file may be prepared using the word processing
software of choice, but must be translated to PDF format prior to being deposited. (Detailed
instructions for preparing and submitting this file, and verifying its submission, will be
provided at the website.)
Applications must contain the following sections and adhere to the following guidelines:
A. Application for Federal Assistance, SF-424 and Assurances, SF-424B (Attachment A)
a. The official applicant is the Water Resources Research Center or Institute
through which the application is submitted.
b. The information on the SF-424 and SF-424B must pertain to that Institute/Center
and its host university.
c. The SF-424 and SF-424B must be submitted electronically at
http://www.grants.gov by the university at which the Water Resources
Research Center or Institute is located. Further instructions can be found at
http://www.grants.gov: click on “For Applicants” on the left side of the screen.
d. The SF-424 must request the total amount of Federal funds for the full duration of
the project.
8
e. An SF-424 and SF-424B must be submitted for each proposal. An SF-424
and SF-424B covering more than one proposal is not acceptable.
B. Matching Funds Commitment Letter. The applicant shall provide an institutional costsharing agreement (letter) signed by an official authorized to commit the applicant to all
or part of the matching share or a third party, in-kind contribution signed by an official
authorized to commit the third party.
1. Signed matching funds commitment letters are to scanned and uploaded to the
niwr.net website following the instructions on the website.
2. Note: Copies of the original signed letter(s) need only be uploaded to
niwr.net at the time of submission of the application; they need NOT be mailed
to the USGS. Please be sure that the scanned documents are legible.
C. Suggested Reviewers. Provide the names and contact information for no more than six
(6) suggested reviewers having expertise in the field of the proposal as requested by the Web
form at the niwr.net website, including street address, city, state, zip code, phone, fax, email
address and subject areas. Suggested reviewers MAY NOT be from your State. In fairness
to all applicants, it is requested that no reviewers be contacted other than by the USGS or
NIWR.
D. Research Proposal. Each proposal shall consist of the following 24 elements. Items
numbered 1 through 13 are to be entered in the Web forms provided at the niwr.net
website.
1. Title. Concise but descriptive.
2. Project Type. Select "Research" if not pre-selected by the system.
3. Focus Categories. Choose a maximum of three focus categories from the list
provided (Attachment E), with the most preferred focus category first.
4. Research Category. Choose from the following the one category that most closely
applies: Social Sciences, Ground-water Flow and Transport, Water Quality,
Biological Sciences, Engineering, or Climate and Hydrologic Processes.
5. Keywords. Enter keywords of your choice descriptive of the work.
6. Start Date. Enter the requested beginning date for the project. The target award date
is August through September with a USGS-preferred project start date of September
1, 2013. The project start date must be no later than September 30, 2013.
7. End Date. Enter the estimated end date for the project.
8. Principal investigator(s). Provide name, academic rank, university, email address and
phone number of ALL principal investigators.
9.
Congressional District of the university where the work is to be conducted.
9
10. Abstract. Provide a brief (one-page) description of the problem, methods, and
objectives in the space provided at the Internet site. Please be as descriptive as
possible in the space allowed. The abstract will be distributed to prospective
reviewers to elicit their interest in providing a review.
11. Budget Breakdown, as requested by the Web form (See Attachment B).
12. Budget Justification, as requested by the Web form (See Attachment C).
13. Budget Summary, as requested by the Web form (See Attachment D).
Budget Note: Multi-year projects will be fully funded with FY 2015 funds, if
funded. The budget must be complete for all years of the project.
Items 14 through 24 are to be "deposited" as a file document in PDF format on the
niwr.net website. Note: This document shall not exceed 12 single-spaced pages, with
12 point font and at least 1 inch margins, including tables, pictures, graphs, figures,
and appendices, but excluding resumes (item 24) and literature citations/references
(item 23). Upon submission of your application components, the entire package will be
available in PDF format for your inspection and final approval. You are responsible for
verifying the approval, including compliance with the 12-page limit. Proposals
exceeding the 12-page limit will not be considered in the competition. If editing is
required, you must edit the document using your word processor and resubmit the
document.
14. Title. Please use the same title as was entered in the Web form under item 1, above.
15. Statement of regional, interstate, or multi-state water problem. Include an
explanation of the need for the project, who wants it, and why.
16. Statement of results or benefits. Specify the type of information that is to be gained
and how it will be used.
17. Nature, scope, and objectives of the project, including a timeline of activities.
18. Methods, procedures, and facilities. Provide enough information to permit evaluation
of the technical adequacy of the approach to satisfy the objectives.
19. Related research. Demonstrate by literature and communication citations the
similarities and dissimilarities of the proposed project to completed or on-going work
on the same topic.
20. Training potential. Estimate the number of graduate and undergraduate students, by
degree level, who are expected to receive training in the project.
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21. Statement of Government Involvement. If a Federal employee will collaborate on the
project, provide a detailed description of the role and responsibilities of the Federal
collaborator in the proposed research project. A brief narrative description is
sufficient; there is no specified format or form. (Caution: see Item VI, above)
22. Information Transfer Plan. Describe the plan for disseminating information on the
results of the research and promoting their application. Each plan should define the
subject matter and the problems to be addressed, identify the target audience, indicate
the strategies to be employed (e.g., workshops, publications), and identify the
cooperators (e.g., Cooperative Extension Service).
23. Literature Citations/References
24. Investigator’s qualifications. Include a resume(s) of the principal investigator(s). No
resume shall exceed two pages or list more than 15 pertinent publications.
If letters of support for the application are provided, they should be scanned and uploaded to the
niwr.net website following the instructions on the website at https://niwr.net/. Letters of
support do not count against the 12-page limit.
An Application Checklist is provided to help guide the principal investigator and the relevant
Water Center or Institute through the application process. Please see Attachment G.
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XIV. PROPOSALS SELECTED FOR FUNDING IN PREVIOUS YEARS
Total Funds Available, Number of Proposals Received and Funded, and the Minimum and
Maximum Federal Funds Awarded, by Year.
Total
Number of Number of
Minimum.
Maximum.
Funds
Proposals
Proposals
Federal Funds
Federal Funds
Year
Available
Received
Funded
Awarded
Awarded
1999
$1,000,000
68
10
$13,833
$183,650
2000
$1,000,000
106
8
$41,937
$216,999
2001
$1,000,000
75
9
$84,294
$150,000
2002
$1,000,000
75
8
$103,134
$157,586
2003
$1,000,000
76
6
$92,839
$233,953
2004
$950,000
45
8
$69,246
$170,596
2005
$950,000
49
8
$63,014
$172,842
2006
$920,000
61
8
$58,155
$250,000
*2007
$814,419
63
5
$61,312
$242,508
2009
$937,358
61
6
$82,489
$235,148
2010
$950,183
46
6
$60,396
$247,563
2011
$1,064,754
40
5
$140,162
$249,949
2012
$853,498
46
6
$35,885
$243,835
2014
$963,704
68
4
$230,839
$248,556
*The program did not receive funding in FY 2007 and FY 2013. Projects selected in FY 2007
were supported with FY 2008 funds. A program competition was not held in FY 2008 nor held
in FY 2013. Projects Descriptions of the projects selected for funding since 2002 are provided at
(http://water.usgs.gov/wrri/national-competitive-grants.php).
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XV.
REPORTING REQUIREMENTS
All award recipients will be required to submit the following reports:
Report
Final Technical
Report
Annual Progress
Report (except for
final year – replaced
by Final Technical
Report
SF-425 Federal
Financial Report
Number of Copies and
Format
1 PDF file.
See instructions below.
1 PDF file
See instructions below.
Submit to
Due
Project Officer
through Annual
Report system at
https://niwr.net
Project Officer
through Annual
Report system at
https://niwr.net
No later than 90 days
after expiration of the
award.
No later than May 31
of each year. To be
filed with the
recipients Annual
Program Report.
Submit Electronically. www.fedconnect.net* See XV(B) below
"Financial Reporting
Requirements"
*Please see the Terms and Conditions provided with the Award document.
A. TECHNICAL REPORTING REQUIREMENTS
The annual progress report and final report shall contain:
1. The “Basic Information” requested by the Annual Report System at
https://niwr.net, including the project title, project number, start date, end date,
research category, focus category, descriptors, and the name of the principal
investigator.
2. A description of the problem addressed and work performed under the award and
the results and significance thereof.
3. A list of publications resulting from the work under the award.
B. FINANCIAL REPORTING REQUIREMENTS
CASH MANAGEMENT AND FINANCIAL REPORTING REQUIREMENTS
1. Annual Financial Reports.
The recipient will submit annual STANDARD FORM 425, FEDERAL FINANCIAL
REPORT(S) for each individual USGS award. The SF 425 is available at http://www.whitehouse.gov/omb/grants_forms. The SF 425 will be due ninety (90)
calendar days after the grant year (i.e., 12 months after the approved effective date of
the grant agreement and every 12 months thereafter until the expiration date of the
grant agreement). USGS acknowledges that this annual reporting schedule may not
always correspond with a specific budget period. The SF 425 must be submitted
electronically through the FedConnect Message Center (www.fedconnect.net). If
after 90 days, recipient has not submitted a report, the recipient’s account in ASAP
will be placed in a manual review status until the report is submitted.
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2. Final Financial Report.
a. The recipient will liquidate all obligations incurred under the award and submit a
final STANDARD FORM 425, FEDERAL FINANCIAL REPORT through
FedConnect (www.fedconnect.net) no later than 90 calendar days after the
grant/cooperative agreement completion date. The SF 425 is available at http://www.whitehouse.gov/omb/grants_forms. Recipient will promptly return any
unexpended federal cash advances or will complete a final draw from ASAP to obtain
any remaining amounts due. Once 120 days has passed since the grant/agreement
completion date, the ASAP subaccount for this award may be closed by USGS at any
time.
b. Subsequent revision to the final SF 425 will be considered only as follows (i) When the revision results in a balance due to the Government, the recipient
must submit a revised final Federal Financial Report (SF 425) and refund the
excess payment whenever the overcharge is discovered, no matter how long
the lapse of time since the original due date of the report.
(ii) When the revision represents additional reimbursable costs claimed by the
recipient, a revised final SF 425 may be submitted to the Contracting Officer
with an explanation. If approved, the USGS will either request and pay a final
invoice or reestablish the ASAP subaccount to permit the recipient to make a
revised final draw. Any revised final report representing additional
reimbursable amounts must be submitted no later than 1 year from the due date
of the original report, i.e., 15 months following the agreement completion date.
USGS will not accept any revised SF 425 covering additional expenditures
after that date and will return any late request for additional payment to the
recipient.
14
Budget Breakdown
Attachment B
BUDGET BREAKDOWN*
Project Number: (Number will be provided by the application system)
Project Title:
Cost Category
Federal
1. Salaries and Wages
$
Non-Federal
Total
$
$
- Principal Investigator(s)
- Graduate Student(s)
- Undergraduate Student(s)
- Others
Total Salaries and Wages
2. Fringe Benefits
- Principal Investigator(s)
- Graduate Student(s)
- Undergraduate Student(s)
- Others
Total Fringe Benefits
3. Tuition
- Graduate Student(s)
- Undergraduate Student(s)
Total Tuition
4.
Supplies
5.
Equipment
6.
Services or Consultants
7.
Travel
8.
Other direct costs
9.
Total direct costs
10a.
Indirect costs on federal share
XXXXXXXX
XXXXXXXX
10b.
Indirect costs on non-federal share
XXXXXXXX
XXXXXXXX
11.
Total estimated costs
$
$
$
Total Costs at Campus of the University on which the Institute or Center
is located.
$
$
$
Total Costs at other University Campus
Name of University:
$
$
$
* This form is provided as a worksheet only
22
Budget Justification
Attachment C
BUDGET JUSTIFICATION*
Project Number: (Number will be provided by the application system)
Project Title
Salaries and Wages for PIs. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
Salaries and Wages for Graduate Students. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
(Other forms of compensation paid as or in lieu of wages to students performing necessary work are allowable provided that the other payments are reasonable
compensation for the work performed and are conditioned explicitly upon the performance of necessary work. Also, note that tuition has its own category below
and that health insurance, if provided, is to be included under fringe benefits.)
Salaries and Wages for Undergraduate Students. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
(Other forms of compensation paid as or in lieu of wages to students performing necessary work are allowable provided that the other payments are reasonable
compensation for the work performed and are conditioned explicitly upon the performance of necessary work. Also, note that tuition has its own category below
and that health insurance, if provided, is to be included under fringe benefits.)
Salaries and Wages for Others. Provide personnel, title/position, estimated hours and the rate of compensation proposed for each individual.
Fringe Benefits for PIs. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. . Note: include health insurance
here, if applicable.
Fringe Benefits for Graduate Students. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. Note: include
health insurance here, if applicable.
Fringe Benefits for Undergraduate Students. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. Note:
include health insurance here, if applicable
Fringe Benefits for Others. Provide the overall fringe benefit rate applicable to each category of employee proposed in the project. . Note: include health
insurance here, if applicable.
Tuition for Graduate Students.
Tuition for Undergraduate Students
Supplies. Indicate separately the amounts proposed for office, laboratory, computing, and field supplies. Provide a breakdown of the supplies in each category.
Equipment. Identify non-expendable personal property having a useful life of more than one (1) year and an acquisition cost of more than $5,000 per unit. If
fabrication of equipment is proposed, list parts and materials required for each, and show costs separately from the other items. A detailed breakdown is required.
Services or Consultants. Identify the specific tasks for which these services, consultants, or subcontracts would be used. Provide a detailed breakdown of the
services or consultants to include personnel, time, salary, supplies, travel, etc.
Travel. Provide purpose and estimated costs for all travel. A breakdown should be provided to include location, number of personnel, number of days, per diem
rate, lodging rate, mileage and mileage rate, airfare (whatever is applicable).
Other Direct Costs. Itemize costs not included elsewhere, including publication costs. Costs for services and consultants should be included and justified under
“Services or Consultants (above). Please provide a breakdown for costs listed under this category.
Indirect Costs. Provide negotiated indirect (“Facilities and Administration”) cost rate.
* This form is provided as a worksheet only.
23
Budget Summary
Attachment D
BUDGET SUMMARY*
Project Number: (Number will be provided by the application system)
Project Title:
COST CATEGORY
$
NON-FEDERAL
YEAR 2#
$
$
NON FEDERAL
YEAR 3#
$
TOTAL ALL
YEARS#
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5. Equipment
$
$
$
$
$
$
$
6. Services or Consultants
$
$
$
$
$
$
$
7. Travel
$
$
$
$
$
$
$
8. Other Direct Costs
$
$
$
$
$
$
$
9. TOTAL DIRECT COSTS (sum of 1- 8)
$
$
$
$
$
$
$
1. Salaries and Wages for:
- Principal Investigators
- Grad. Students
- Undergrad.. Students
Total Salaries and Wages
2. Fringe Benefits for:
- Principal Investigators
- Grad. Students
- Undergrad. Students
Total Fringe Benefits
3. Tuition for:
- Grad. Students
- Undergrad. Students
Total Tuition
4. Supplies
Federal
Year 1
- - -----
$
Non-Federal
Year 1
$
$
FEDERAL
YEAR 2#
FEDERAL
YEAR 3#
10. Indirect Costs
$
$
$
$
11. Amount Proposed (9 + 10)
$
$
$
$
* This form is provided as a worksheet only. # Multi-year projects only.
24